- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Job Description** Under direction of the SVP, Head of Prudential Regulatory Relations, work directly with regulators and internal stakeholder to oversee the ... of Raymond James in support of successful execution of the firm's prudential regulatory relations strategy. **Essential Duties and Responsibilities** + The… more
- Charles Schwab (Westlake, TX)
- … Liaison Office (RLO) leads, guides, and helps shape the company's regulatory interactions with both prudential and functional regulators. The functional ... in the financial services industry. + Knowledge of broker-dealer and investment advisor industry regulatory practices and securities rules. + Familiarity with… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …compliance risk. This role is responsible for collaborating with peers and senior leaders to support the design, implementation and maintenance of the RJF ... achieve desired maturity and sustainability, serving in an advisory and oversight advisor to business teams, coordinating compliance functions, acting as a liaison… more